Brussels, COM(2015) 451 final. ANNEXES 1 to 4 ANNEXES

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1 EUROPEAN COMMISSION Brussels, COM(2015) 451 final ANNEXES 1 to 4 ANNEXES accompanying the Proposal for a Council decision establishing provisional measures in the area of international protection for the benefit of Italy, Greece and Hungary EN EN

2 ANNEX I- Distribution key for Italy Overall key Allocation per Member State ( applicants relocated) Austria 3,03% 473 Belgium 3,80% 593 Bulgaria 1,33% 208 Croatia 0,89% 138 Cyprus 0,23% 36 Czech Republic 2,48% 387 Estonia 0,31% 48 Finland 2,00% 312 France 20,03% Germany 26,20% Latvia 0,44% 68 Lithuania 0,65% 101 Luxembourg 0,37% 57 Malta 0,11% 17 Netherlands 6,01% 938 Poland 7,74% Portugal 2,56% 400 Romania 3,87% 604 Slovakia 1,25% 195 Slovenia 0,53% 82 Spain 12,44% Sweden 3,72% 581 The distribution key is based on the following criteria: a) The size of the population (40 % weighting). This criterion reflects the capacity of a Member State to absorb a certain number of refugees; b) Total GDP (40 % weighting). This criterion reflects the absolute wealth of a country and is indicative of the capacity of an economy to absorb and integrate refugees: c) Average number of asylum applications per one million inhabitants over the period (10 % weighting, with a 30% cap of the population and GDP effect on the key). This criterion reflects the existing burden on a Member State in terms of asylum applications; d) Unemployment rate (10 % weighting, with a 30% cap of the population and GDP effect on the key). This criterion reflects the capacity to integrate refugees. 1 For Croatia, given the EU accession on 1 July 2013, the average figure for the period 2013 and 2014 only is taken into account. 2

3 ANNEX II- Distribution key for Greece Overall key Allocation per Member State ( applicants relocated) Austria 3,03% Belgium 3,80% Bulgaria 1,33% 672 Croatia 0,89% 447 Cyprus 0,23% 115 Czech Republic 2,48% Estonia 0,31% 157 Finland 2,00% France 20,03% Germany 26,20% Latvia 0,44% 221 Lithuania 0,65% 328 Luxembourg 0,37% 185 Malta 0,11% 56 Netherlands 6,01% Poland 7,74% Portugal 2,56% Romania 3,87% Slovakia 1,25% 631 Slovenia 0,53% 265 Spain 12,44% Sweden 3,72% The distribution key is based on the following criteria: a) The size of the population (40 % weighting). This criterion reflects the capacity of a Member State to absorb a certain number of refugees; b) Total GDP (40 % weighting). This criterion reflects the absolute wealth of a country and is indicative of the capacity of an economy to absorb and integrate refugees: c) Average number of asylum applications per one million inhabitants over the period (10 % weighting, with a 30% cap of the population and GDP effect on the key). This criterion reflects the existing burden on a Member State in terms of asylum applications; d) Unemployment rate (10 % weighting, with a 30% cap of the population and GDP effect on the key). This criterion reflects the capacity to integrate refugees. 2 For Croatia, given the EU accession on 1 July 2013, the average figure for the period 2013 and 2014 only is taken into account. 3

4 ANNEX III- Distribution key for Hungary Overall key Allocation per Member State ( applicants relocated) Austria 3,03% Belgium 3,80% Bulgaria 1,33% 720 Croatia 0,89% 479 Cyprus 0,23% 123 Czech Republic 2,48% Estonia 0,31% 168 Finland 2,00% France 20,03% Germany 26,20% Latvia 0,44% 237 Lithuania 0,65% 351 Luxembourg 0,37% 198 Malta 0,11% 60 Netherlands 6,01% Poland 7,74% Portugal 2,56% Romania 3,87% Slovakia 1,25% 676 Slovenia 0,53% 284 Spain 12,44% Sweden 3,72% The distribution key is based on the following criteria: a) The size of the population (40 % weighting). This criterion reflects the capacity of a Member State to absorb a certain number of refugees; b) Total GDP (40 % weighting). This criterion reflects the absolute wealth of a country and is indicative of the capacity of an economy to absorb and integrate refugees: c) Average number of asylum applications per one million inhabitants over the period (10 % weighting, with a 30% cap of the population and GDP effect on the key). This criterion reflects the existing burden on a Member State in terms of asylum applications; d) Unemployment rate (10 % weighting, with a 30% cap of the population and GDP effect on the key). This criterion reflects the capacity to integrate refugees. 3 For Croatia, given the EU accession on 1 July 2013, the average figure for the period 2013 and 2014 only is taken into account. 4

5 ANNEX IV Legislative financial statement 1. FRAMEWORK OF THE PROPOSAL/INITIATIVE 1.1. Title of the proposal/initiative 1.2. Policy area(s) concerned in the ABM/ABB structure 1.3. Nature of the proposal/initiative 1.4. Objective(s) 1.5. Grounds for the proposal/initiative 1.6. Duration and financial impact 1.7. Management mode(s) planned 2. MANAGEMENT MEASURES 2.1. Monitoring and reporting rules 2.2. Management and control system 2.3. Measures to prevent fraud and irregularities 3. ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE 3.1. Heading(s) of the multiannual financial framework and expenditure budget line(s) affected 3.2. Estimated impact on expenditure Summary of estimated impact on expenditure Estimated impact on operational appropriations Estimated impact on appropriations of an administrative nature Compatibility with the current multiannual financial framework Third-party contributions 3.3. Estimated impact on revenue 5

6 LEGISLATIVE FINANCIAL STATEMENT 1. FRAMEWORK OF THE PROPOSAL/INITIATIVE 1.1. Title of the proposal/initiative Proposal for a Council Implementing Decision establishing provisional measures in the area of international protection for the benefit of Italy, Greece and Hungary 1.2. Policy area(s) concerned in the ABM/ABB structure4 18 Migration and Home Affairs 1.3. Nature of the proposal/initiative The proposal/initiative relates to a new action The proposal/initiative relates to a new action following a pilot project/preparatory action 5 The proposal/initiative relates to the extension of an existing action The proposal/initiative relates to an action redirected towards a new action 1.4. Objective(s) The Commission's multiannual strategic objective(s) targeted by the proposal/initiative The European Agenda on Migration (COM(2015)240 final) highlights the urgent need to respond to the current high-volumes of arrivals of migrants within the EU. Since the beginning of 2015, Member States' asylum systems today face unprecedented pressure and the flow of people to frontline and some other Member States will continue in the months to come. The EU should not wait until the pressure is intolerable to act: the volumes of arrivals mean that the capacity of local reception and processing facilities is already stretched. To deal with the situation in the Member States most under pressure, the Commission is (again) triggering the emergency response system envisaged under Article 78(3) TFEU. The proposal includes a temporary scheme for the distribution of persons in clear need of international protection to ensure a fair and balanced participation of all Member States to this common effort. The receiving Member State will be responsible for the examination of the application in accordance with established rules and guarantees. A redistribution key based on relevant objective criteria is proposed Specific objective(s) and ABM/ABB activity(ies) concerned Specific objective No 4 To enhance solidarity and responsibility-sharing between the Member States, in particular with those most affected by migration and asylum flows, including through practical cooperation ABM/ABB activity(ies) concerned Asylum and Migration Expected result(s) and impact Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. Relocation of applicants from Italy, Greece and Hungary to the other Member States. 4 5 ABM: activity-based management; ABB: activity-based budgeting. As referred to in Article 54(2)(a) or (b) of the Financial Regulation. 6

7 Indicators of results and impact Specify the indicators for monitoring implementation of the proposal/initiative. Number of applicants relocated 1.5. Grounds for the proposal/initiative Requirement(s) to be met in the short or long term This proposal is presented as result of a prevailing crisis in the area of asylum in Italy, Greece and Hungary. The proposal based on Article 78(3) of the Treaty aims at preventing further deterioration of the asylum situation in these three countries and at providing them with effective support. In its 23 April 2015 statement, the European Council committed itself to consider options for organising emergency relocation between all Member States on a voluntary basis. In its 28 April 2015 resolution, the European Parliament has called upon the Council to seriously consider the possibility of triggering Article 78(3) of the Treaty. With its proposal of 27 May 2015 (COM(2015)286 final), the Commission triggered for the first time the emergency mechanism under Article 78(3) of the Treaty. The European Council in June agreed to the temporary and exceptional relocation over two years from Italy and Greece to other Member States of persons in clear need of international protection Added value of EU involvement The emergency situation created by the sudden influx of third-country nationals in Italy, Greece and Hungary puts their asylum systems and resources under considerable strain. As a consequence of this, other Member States can become affected, due to the secondary movements of these persons from Italy, Greece and Hungary to these other Member States. It is clear that actions of individual Member States cannot satisfactorily reply to the common challenges all Member States are confronted with in this. EU action in this field is therefore essential Lessons learned from similar experiences in the past This is the second time that a proposal is made under Article 78(3) of the Treaty Compatibility and possible synergy with other appropriate instruments The AMIF foresees the possibility of transfer of applicants for international protection as part of the national programme of each Member State on a voluntary basis. 7

8 1.6. Duration and financial impact Proposal/initiative of limited duration Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY Financial impact from 2016 to 2020 Proposal/initiative of unlimited duration Implementation with a start-up period from YYYY to YYYY, followed by full-scale operation Management modes planned Direct management by the Commission by its departments, including by its staff in the Union delegations; by the executive agencies Shared management with the Member States Indirect management by entrusting budget implementation tasks to: third countries or the bodies they have designated; international organisations and their agencies (to be specified); the EIB and the European Investment Fund; bodies referred to in Articles 208 and 209 of the Financial Regulation; public law bodies; bodies governed by private law with a public service mission to the extent that they provide adequate financial guarantees; bodies governed by the private law of a Member State that are entrusted with the implementation of a publicprivate partnership and that provide adequate financial guarantees; persons entrusted with the implementation of specific actions in the CFSP pursuant to Title V of the TEU, and identified in the relevant basic act. If more than one management mode is indicated, please provide details in the Comments section. Comments This legislative financial statement shows the amounts which are necessary to cover the cost of relocation of applicants for international protection from Italy, Greece and Hungary to other Member States (including the contribution to the transfer costs). The commitments appropriations should be added to the current allocation of the Asylum, Migration and Integration Fund (AMIF) on the budget line The calculation of the payment needs is based on the assumption that 50% pre-financing is paid in

9 2. MANAGEMENT MEASURES 2.1. Monitoring and reporting rules Specify frequency and conditions. For shared management, a coherent and efficient reporting, monitoring and evaluation framework is in place. For each national programme, Member States are required to set up a Monitoring Committee to which the Commission may participate. On an annual basis Member States will report on the implementation of the multiannual programme. These reports are a precondition for annual payments in the framework of the clearance of accounts procedure, set out in Regulation (EU) N 514/2014 (Horizontal Regulation). In 2018,in accordance with article 15 of Regulation 514/2014, the Commission will present a report on the mid term review carried out of the national programmes which will include the implementation of the financial resources made available by this Council Decision. Moreover, the Commission will submit an intermediate report on the implementation of the Funds by and an ex-post evaluation report by , covering the whole implementation (i.e. not only national programmes under shared management) Management and control system Risk(s) identified DG HOME has not been facing important risks of errors in its spending programmes. This is confirmed by the recurrent absence of significant findings in the annual reports of the Court of Auditors as well as by the absence of residual error rate above 2% in the past years in DG HOME annual activity reports. The management and control system follows the general requirements set in the CSF Funds and fully complies with the requirements of the Financial Regulation. Multi-annual programming coupled with annual clearance based on the payments made by the Responsible Authority aligns the eligibility periods with the annual accounts of the Commission, without increasing the administrative burden compared to the current system. On the spot checks will be carried out as part of the 1st level controls, i.e. by the Responsible Authority and will support its annual management declaration of assurance. The use of lump sums (simplified cost option) shall further reduce mistakes made by the responsible authorities when implementing this Decision Information concerning the internal control system set up In addition to the application of all regulatory control mechanisms, DG HOME will devise an antifraud strategy in line with the Commission's new anti-fraud strategy (CAFS) adopted on 24 June 2011 in order to ensure inter alia that its internal anti-fraud related controls are fully aligned with the CAFS and that its fraud risk management approach is geared to identify fraud risk areas and adequate responses. Where necessary, networking groups and adequate IT tools dedicated to analysing fraud cases related to the Funds will be set up. As regards shared management, the CAFS identifies clearly the need for the Commission proposals for regulations to request Member States to put in place fraud prevention measures which are effective and proportionate to the identified fraud risks. The current proposal includes in Article 5 a clear requirement for the Member States to prevent, detect and correct irregularities and to report to the Commission. Further details as regards these obligations will be part of the detailed rules on the functions of the Responsible Authority as foreseen in Article 24(5)(c). 9

10 In addition, the re-use of funds coming from financial correction based on commission or Court of Auditors findings has been clearly indicated in Article Estimate of the costs and benefits of the controls and assessment of the expected level of risk of error Negligable control costs and very low error risk Measures to prevent fraud and irregularities Specify existing or envisaged prevention and protection measures. The standard measures in DG HOME for the prevention of fraud and irregularities will apply. 10

11 3. ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE 3.1. Heading(s) of the multiannual financial framework and expenditure budget line(s) affected Existing budget lines In order of multiannual financial framework headings and budget lines. Heading of multiannu al financial framewor k Budget line Number 3 Security and citizenship Type of expenditur e Diff./Nondiff. 6 Contribution from EFTA countries 7 from candidate countries 8 from third countries within the meaning of Article 21(2)(b ) of the Financial Regulation Diff. NO NO NO NO New budget lines requested: N/A In order of multiannual financial framework headings and budget lines. Heading of multiannu al financial framewor k Budget line Number [ ][Heading ] Type of expenditur e Diff./Nondiff. Contribution from EFTA countries from candidate countries from third countries within the meaning of Article 21(2)(b ) of the Financial Regulation [ ][XX.YY.YY.YY] YES/NO YES/NO YES/NO YES/NO Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations. EFTA: European Free Trade Association. Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 11

12 3.2. Estimated impact on expenditure Summary of estimated impact on expenditure EUR million (to three decimal places) Heading of multiannual financial framework Number 3 - Security and citizenship DG: HOME Enter as many years as necessary to show the duration of the impact (see point 1.6) TOTAL Operational appropriations Commitments (1) Payments (2) Number of budget line Commitments Payments (1a) (2a) Appropriations of an administrative nature financed from the envelope of specific programmes Number of budget line (3) TOTAL appropriations for DG HOME Commitments Payments =1+1 a +3 = The impact on payments is calculated under the assumption of a 50% prefinancing for the temporary relocation scheme. 12

13 a +3 TOTAL operational appropriations Commitments (4) Payments (5) TOTAL appropriations of an administrative nature financed from the envelope for specific programmes (6) TOTAL appropriations under HEADING 3 of the multiannual financial framework Commitments Payments =4+ 6 = If more than one heading is affected by the proposal / initiative: TOTAL operational appropriations Commitments (4) Payments (5) TOTAL appropriations of an administrative nature financed from the envelope for specific programmes (6) TOTAL appropriations under HEADINGS 1 to 4 of the multiannual financial framework (Reference amount) Commitments Payments =4+ 6 =

14 Heading of multiannual financial framework 5 Administrative expenditure EUR million (to three decimal places) N Enter as many years as necessary to show the duration of the impact (see point 1.6) TOTAL DG: HOME Human resources 0,660 0,660 1,320 Other administrative expenditure 0,007 0,007 0,014 TOTAL DG HOME Appropriations TOTAL appropriations under HEADING 5 of the multiannual financial framework EUR million (to three decimal places) (Total commitments = Total payments) 0,667 0,667 1, Enter as many years as necessary to show the duration of the impact (see point 1.6) TOTAL TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework Commitments 780,667 0, ,334 Payments 390, , ,334 14

15 No No No No No No No Estimated impact on operational appropriations The proposal/initiative does not require the use of operational appropriations The proposal/initiative requires the use of operational appropriations, as explained below: Commitment appropriations in EUR million (to three decimal places) Indicate objectives and outputs OUTPUTS Enter as many years as necessary to show the duration of the impact (see point 1.6) TOTAL Type 10 Aver age cost Cost Cost Cost Cost Cost Cost Cost Total No Total cost SPECIFIC OBJECTIVE No 1 11 Lumpsum compensation to the other MS for relocation of applicants for international protection from Italy, Greece and Hungary - Output Numb er of applic ants 0, Output Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). As described in point Specific objective(s) 15

16 Subtotal for specific objective No 1 SPECIFIC OBJECTIVE No 2... Contribution to transfer costs of relocated persons from Italy, Greece and Hungary - Output Trans fer costs 0, Subtotal for specific objective No 2 TOTAL COST

17 Estimated impact on appropriations of an administrative nature Summary The proposal/initiative does not require the use of appropriations of an administrative nature below: The proposal/initiative requires the use of appropriations of an administrative nature, as explained EUR million (to three decimal places) Enter as many years as necessary to show the duration of the impact (see point 1.6) TOTAL HEADING 5 of the multiannual financial framework Human resources 0,660 0,660 1,320 Other administrative expenditure 0,007 0,007 0,014 Subtotal HEADING 5 of the multiannual financial framework 0,667 0,667 1,334 Outside HEADING 5 12 of the multiannual financial framework Human resources Other expenditure of an administrative nature Subtotal outside HEADING 5 of the multiannual financial framework 12 Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former BA lines), indirect research, direct research. 17

18 TOTAL 0,667 0,667 1,334 The appropriations required for human resources and other expenditure of an administrative nature will be met by appropriations from the DG that are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints. 18

19 Estimated requirements of human resources The proposal/initiative does not require the use of human resources. The proposal/initiative requires the use of human resources, as explained below: Estimate to be expressed in full time equivalent units N+3 Enter as many years as neces sary to show the durati on of the impac t (see point 1.6) Establishment plan posts (officials and temporary staff) XX (Headquarters and Commission s Representation Offices) 5 5 XX (Delegations) XX (Indirect research) (Direct research) External staff (in Full Time Equivalent unit: FTE) 13 XX (AC, END, INT from the global envelope ) XX (AC, AL, END, INT and JED in the delegations) XX yy 14 - at Headquarters - in Delegations XX (AC, END, INT - Indirect AC= Contract Staff; AL = Local Staff; END= Seconded National Expert; INT = agency staff; JED= Junior Experts in Delegations. Sub-ceiling for external staff covered by operational appropriations (former BA lines). 19

20 research) (AC, END, INT - Direct research) Other budget lines (specify) TOTAL XX is the policy area or budget title concerned. The human resources required will be met by staff from the DG who are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints. Description of tasks to be carried out: Officials and temporary staff Support, process and monitor the activities in the area of relocation of applicant for international protection at the level of the Commission, and assist the Member States in developing this activity. External staff 20

21 Compatibility with the current multiannual financial framework The proposal/initiative is compatible the current multiannual financial framework. The proposal/initiative will entail reprogramming of the relevant heading in the multiannual financial framework. Explain what reprogramming is required, specifying the budget lines concerned and the corresponding amounts. [ ] The proposal/initiative requires application of the flexibility instrument or revision of the multiannual financial framework. Explain what is required, specifying the headings and budget lines concerned and the corresponding amounts. The margin under the expenditure heading "Security and Citizenship" being exhausted, and after having examined all possibilities for re-allocating appropriations, it is proposed to mobilise the flexibility instrument Third-party contributions The proposal/initiative does not provide for co-financing by third parties. The proposal/initiative provides for the co-financing estimated below: Appropriations in EUR million (to three decimal places) N N+1 N+2 N+3 Enter as many years as necessary to show the duration of the impact (see point 1.6) Total Specify the co-financing body TOTAL appropriations co-financed 21

22 3.3. Estimated impact on revenue The proposal/initiative has no financial impact on revenue. The proposal/initiative has the following financial impact: on own resources on miscellaneous revenue EUR million (to three decimal places) Budget revenue line: Appropriatio ns available for the current financial year Impact of the proposal/initiative Enter as many years as necessary to show the duration of the impact (see point 1.6) Article 6600 p.m. p.m. p.m. p.m. For miscellaneous assigned revenue, specify the budget expenditure line(s) affected. A Member State may, in exceptional circumstances, within one month of the entry into force of this Decision, notify to the Commission that it is temporarily unable to take part, totally or in part, in the relocation of applicants from the Member State benefiting from relocation, giving duly justified reasons compatible with the fundamental values of the Union enshrined in Article 2 of the Treaty on European Union. The Commission shall assess the reasons given and address a decision to such Member State. Where the Commission finds that the notification is duly justified, the Member State shall be freed, for a period of one year, from its obligation to take part in the relocation of applicants under this Decision and shall instead make a financial contribution to the EU budget of an amount of 0,002 % GDP; in case of partial participation in the relocation, this amount shall be reduced in proportion. This contribution shall be used to finance assistance supporting the efforts undertaken by all other Member States to cope with the crisis situation and the consequences of the nonparticipation of such Member State, pursuant to the provisions of Regulation (EU) No 516/2014 of the European Parliament and of the Council of 16 April 2014 establishing the Asylum, Migration and Integration Fund, amending Council Decision 2008/381/EC and repealing Decision No 573/2007/EC and No 575/2007/EC of the European Parliament and of the Council and Council Decision 2007/435/EC 16. It shall constitute assigned revenue within the meaning of Article 21(4) of Regulation (EU, Euratom) No. 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/ Specify the method for calculating the impact on revenue. [ ] As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net amounts, i.e. gross amounts after deduction of 25 % for collection costs. OJ L 150, , p OJ L 298, , p1. 22